JB
James K. Beakas
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES
Toledo, OH 43617
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CRD#: 1620001
JB
Professional summary
James Kenneth Beakas is a registered financial advisor currently at BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Toledo, Ohio and BFC PLANNING, INC. located in Toledo, Ohio.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. James has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. STRATEGIC WEALTH MANAGEMENT GROUP LLC-Y-TOLEDO, OH-GENERAL SECURITIES SALES-4/2008-160-160-FINANCIAL, INVESTMENT, RETIREMENT PLANNING. 2. Strategic Wealth Management Group, LLC-N-TOLEDO, OH- INSURANCE-AGENT-4/1988-2-0-SALES OF LIFE INSURANCE. 3. STRATEGIC WEALTH MANAGEMENT GROUP LLC-N-TOLEDO, OH-SUB-LEASING OFFICE SPACE-PARTNER-11/2015-0-0-SUB-LEASING OFFICE SPACE TO UNAFFILIATED COMPANY AND COLLECTING RENT.
CRS (Client Relationship Summary) - RIA
Click below to view James Kenneth Beakas's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 27, 2004 - Present
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
Office #1: 3230 Central Park West Suite 202, Toledo, OH 43617RIA
BD
CRD#: 13609
Toledo, OH
Current
December 7, 2016 - Present
BFC PLANNING, INC.
Office #1: 3230 Central Park West Suite 202, Toledo, OH 43617RIA
CRD#: 119682
TOLEDO, OH
Current
March 31, 2003 - Present
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
Office #1: 3230 Central Park West Suite 202, Toledo, OH 43617RIA
BD
CRD#: 13609
Toledo, OH
Past
January 1, 2002 - March 31, 2003
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
BD
CRD#: 2864
BRYAN, OH
Past
October 2, 1990 - January 1, 2002
CONTINENTAL CAPITAL SECURITIES, INC
BD
CRD#: 14635
SYLVANIA, OH
Past
November 25, 1988 - October 8, 1990
HAMILTON INVESTMENTS, INC.
BD
CRD#: 821
Past
February 26, 1987 - December 16, 1988
OBERWEIS SECURITIES, INC.
BD
CRD#: 7739
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
BP
BFC PLANNING, INC.
1ST & MAIN INVESTMENT ADVISORS - ADVISORY SERVICES OFFERED THROUGH BFC PLANNING, INC. | GREAT LAKES BAY FINANCIAL | BFC PLANNING, INC. | BERTHEL FISHER & COMPANY PLANNING, INC. | BEDROCK INVESTMENT ADVISORS, LLC
CRD#: 119682 / SEC#: 801-67427
RIA
Registered Investment Advisory firm - (1/3/2007 Approved)Iowa
Registered Investment Advisory firm - (3/5/2007 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(6/12/2023)
RR
Colorado(5/2/2017)
RR
Florida(4/1/2003)
RR
Idaho(8/16/2023)
RR
Illinois(4/2/2004)
RR
Indiana(1/17/2006)
RR
Kentucky(9/25/2025)
RR
Maryland(4/16/2004)
RR
Michigan(3/31/2003)
RR
New York(3/8/2004)
RR
Ohio(3/31/2003)
IAR
Ohio(4/27/2004)
RR
Pennsylvania(11/26/2012)
RR
Tennessee(4/19/2006)
RR
Texas(6/17/2010)
RR
Washington(1/2/2025)
RR
Wisconsin(4/16/2004)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BP
BFC PLANNING, INC.
1ST & MAIN INVESTMENT ADVISORS - ADVISORY SERVICES OFFERED THROUGH BFC PLANNING, INC. | GREAT LAKES BAY FINANCIAL | BFC PLANNING, INC. | BERTHEL FISHER & COMPANY PLANNING, INC. | BEDROCK INVESTMENT ADVISORS, LLC
CRD#: 119682 / SEC#: 801-67427
RIA
Registered Investment Advisory firm - (1/3/2007 Approved)Iowa
Registered Investment Advisory firm - (3/5/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402
Mailing Address
Phone number
(319) 447-5700
Established
Firm type
Fiscal year end
# of Employees
200
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 8,756 |
| AUM (Assets Under Management) | $ 2,026,848,859 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
